London, United Kingdom

Compliance Advisory Principal Consultant

Full-time / part-time
Mid-Senior Level
Compliance & Risk
3 More London Riverside
United Kingdom

Job description

Do you have strong technical knowledge of FCA regulations with regard to AIFM and MiFiD Managers? If so, this is your chance to be part of a collegiate and high performing compliance advisory team on a path of exciting growth.

As Principal Consultant within our Compliance Consulting team, you will play a key role in  successfully motivating and leading a team of consultants and analysts while overseeing a portfolio of Firms, providing ongoing compliance support.

You will be responsible for ensuring market leading FCA authorisations support, undertake CRM meetings and addressing client feedback to ensure excellence in service.

Every day is a new challenge so you’ll need to be a team player at heart, with an eye for detail and ‘can do’ attitude, great organisational skills so you are able to prioritise your day. You will need to be extremely enthusiastic and motivated and have a real desire to drive change. Strong communication skills are also a must.

You’ll need to be highly flexible, so that you can support your team and the wider group. Having a customer focused, and a business orientated mind is a must, as you’ll need to use your own judgement to identify any risks or concerns and report them in a timely manner.

Day to Day:

  • Lead all aspects of compliance program, including overseeing and reviewing the work of project team members;
  • Act as internal and external subject matter expert on compliance matters relevant to clients;
  • Perform a broad scope of work during reviews of largest and most complex clients, and to guide, coordinate and consolidate the work of colleagues during these reviews;
  • Identify, manage and/or support projects and internal initiatives (e.g., draft articles for industry publications, participate in sales, conduct or oversee research); and
  • Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.

Your long-term career goals are important to us too. We want to make sure we’re providing the support and opportunities you need to achieve your dreams so we can build a successful future, together.

Together we find solutions and make things happen but to do this we want you to contribute; looking for ways to help us get better at what we do in the most efficient and effective way.


  • Considerable experience working within a Compliance Consultancy/Compliance Advisory practice
  • Technical knowledge of FCA regulations especially with regard to AIFM and MiFiD Managers
  • Practical understanding of the financial services industry especially Private Equity Management preferably gained through a period working at a Private Equity Firm
  • Proven track record within compliance gained within Compliance consultancy, Asset / Investment Management.
  • Ability to implement solutions to address the regulatory requirements of the client
  • Knowledge of the FCA handbook
  • Excellent oral and written communication skills

Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Company description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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